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Growing Sense of Realism Around RegTech Implementation, Warns Thomson Reuters

There is an emerging sense of pragmatism around the adoption of new technology, according to the latest global survey from Thomson Reuters Regulatory Intelligence, released today. While the potential advantages of FinTech and RegTech are widely acknowledged, there is a growing sense of realism around the implementation challenges and practical reality of achieving the promised benefits of improved efficiency – while firms are increasingly wary of whether providers are indeed able to deliver all the solutions they promise.

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FEATURED WEBINAR

Upcoming Webinar: Data lineage to drive compliance and as a business imperative

Date: 26 March 2019 Time: 10:00am ET / 3:00pm London / 4:00pm CET. The importance of data lineage has escalated in recent years in response to regulatory demand and increased business understanding of the benefits it can deliver. Like all capital markets technology, data lineage presents both challenges and opportunities, so how best can it…

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26 March 2019

FEATURED EVENT

TradingTech Summit New York City

Our TradingTech Summit in New York City is aimed at senior-level decision makers in trading technology, electronic execution, trading architecture and offers a day packed with insight from practitioners and from innovative suppliers happy to share their experiences in dealing with the enterprise challenges facing our marketplace.

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26 June 2019

Alternative Data Analytics Best Execution & TCA Data Centres, Connectivity & Colo (KH)Data Delivery, Cloud & Managed Services Execution Venues Feedhandlers Index Data Infrastructure Monitoring Low Latency Technologies Market Data OMS, EMS & SOR Post-Trade Ratings Regulatory compliance Research Tick data & time series technologies Timestamping Trade Surveillance Trading Innovation (Machine Learning, AI & Blockchain)Transaction Reporting Voice & eCommsTradingTech Insight

FEATURED GUIDE

FRTB Special Report

FRTB is one of the most sweeping and transformative pieces of regulation to hit the financial markets in the last two decades. With the deadline confirmed as January 2022, this Special Report provides a detailed insight into exactly what the data requirements are for FRTB in its latest (and final) incarnation, and explores what needs to be done in order to meet these needs on a cost-effective and company-wide basis.

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05 February 2019

Data Management Insight RegTech Insight TradingTech Insight

Top White Papers

Getting eComms Surveillance Right

Demand for electronic communications (eComms) surveillance has risen in response to regulatory requirements and compliance needs to pinpoint problems such as market abuse without wasting time and resources reviewing false positives. Innovative technologies such as machine learning, natural language understanding (NLU) and other strands of artificial intelligence (AI) are improving financial services firms’ ability to...

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10 January 2019

RegTech Insight TradingTech Insight

Quantity vs. Quality: An Evolving Research Paradigm

A revolution is under way in how buy-side firms conceptualize value in the research they consume. However, sell-side houses may be behind the curve in recognizing this. Driving this change in perception among buy-side firms is the EU’s Markets in Financial Instruments Directive II (MiFID II). Under MiFID II, buy-side firms have to pay for...

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7 January 2019

RegTech Insight TradingTech Insight

The Signal and the Noise: Changing the Approach to Investment Data

Today there is significant pressure on active management funds to generate returns that are better than the passive funds that they compete against. As a result, investment managers are constantly seeking new ways to generate investment edge. This has happened in an environment where the volume and velocity of investment data available continues to accelerate....

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6 December 2018

TradingTech Insight

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Top Knowledge Hub picks

MiFID II

Markets in Financial Instruments Directive II (MiFID II) builds on the original MiFID of 2007 to improve the competitiveness of European markets by creating a single market for investment services and activities, and ensuring protection for investors in financial instruments. Read everything you need to know and get access to all related content.

4 February 2019

MiFID II

Data Lineage

Data lineage traces data from source to destination, noting every move the data makes and taking into account any changes to the data during its journey for full traceability. It is critical to regulatory compliance and offers numerous business and operational benefits. Read all about what it is, who it impacts, what the challenges and potential solutions are, as well as review our latest content on the topic and a list of solutions providers.

1 February 2019

Data Lineage

Regulatory Reporting

Regulatory reporting comprises the submission of raw or formatted data as required by regulators to evaluate and track the financial and operational status of financial institutions and their compliance with required regulatory provisions. Find out all about it in our Knowledge Hub.

22 November 2018

Regulatory Data Regulatory Reporting RegTech Insight

Latest briefs

Broadridge Report Reveals Damage of Poor Personalised Communications

Broadridge Financial Solutions has released a rather telling report for those at financial institutions responsible for customer onboarding and client lifecycle management. The report shows that personalisation in communications can make a significant impact on customer loyalty. Some 35% of 3,004 consumers surveyed in the US and Canada said companies they use need to improve…

20 February 2019

Entity data & KYCData Management Insight

Vela Partners Smart Order Router Provider CoinRoutes

Vela, a trading and market access technology firm, has partnered CoinRoutes, a provider of consolidated data, smart order routing (SOR) and algorithmic trading for crypto investors, in order to extend its crypto-asset SOR offering and achieve optimal aggregate prices across selected crypto exchanges. Peggy Sullivan, chief of staff at Vela, says, “Our partnership with CoinRoutes…

18 February 2019

OMS, EMS & SOR Trading Innovation (Machine Learning, AI & Blockchain)TradingTech Insight

IHS Markit Adds ESG Solution for Private Capital Markets

IHS Markit has introduced an environmental, social and governance (ESG) data collection and reporting solution for private equity (PE) firms, venture capital (VC) firms, their portfolio companies and investors. The solution is part of iLEVEL, a platform connecting participants in private capital markets. ESG reporting in iLEVEL covers 29 metrics relevant to investors seeking data…

12 February 2019

Alternative DataTradingTech Insight

RegTech Could be Worth $7.2bn by 2023

Spending on RegTech is forecast to climb to US$7.2 billion by 2023, from US$2.3 billion in 2018 – a CAGR of 25.4% during the forecast period 2018-23. The Asia Pacific region is expected to hold the highest potential, and will see the fastest growth over the five-year period. The compliance management solution segment is expected…

12 February 2019

Compliance 2.0RegTech Insight

ChartIQ Raises $17.4 Million in Series B Funding

ChartIQ, a provider of HTML5 real-time data charting software and most recently a desktop integration platform that connects disparate applications into a unified desktop solution, has completed Series B funding, led by German investor Digital+ Partners, of $17.4 million. The company will use the funding to increase hiring efforts, expand its headquarters in Charlottesville, Virginia…

11 February 2019

Data Delivery & Distribution Data LineageData Management Insight

Shield FC Wins Deloitte RegTech Challenge

Shield Financial Compliance (Shield FC) has been named by Deloitte as one of the most innovative start-ups using artificial intelligence (AI) to solve regulatory challenges in the financial sector. Shield FC’s cross-regulation compliance platform provides a 360 view of all electronics communications and trades, making compliance more efficient and ROI driven. “As Deloitte, we are…

11 February 2019

RegTech Innovation (Machine Learning, AI & Blockchain)Regulatory Reporting Transaction Reporting Voice & eCommsRegTech Insight TradingTech Insight

Theta Lake Raises $5m in Seed Funding

Theta Lake, an AI-based RegTech provider for video communication compliance based in California, has raised $5 million in its first round of Series A seed funding led by Neotribe Ventures and Firebolt Ventures. Theta Lake’s platform uses AI to help compliance teams more effectively scale their compliance risk detection and workflow for supervising communication on…

11 February 2019

RegTech Innovation (Machine Learning, AI & Blockchain)RegTech Insight

Brussels Issues Draft Guidelines for AI Regulation

In December 2018 the European Commission’s High Level Expert Group on Artificial Intelligence (AI HLEG) released its ‘Draft Ethics Guidelines for Trustworthy AI’, a working document for stakeholder engagement that cites AI as “one of the most transformative forces of our time.” The guidelines emphasise that “an ethical approach to AI is key to enable…

8 February 2019

RegTech Innovation (Machine Learning, AI & Blockchain)Regulator WatchRegTech Insight

Australia Expands Accountability Regime

The recently-released report from Australia’s Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry recommended that ‘BEAR’ (the Banking Executive Accountability Regime) should be expanded to all Australian Prudential Regulation Authority-regulated financial services institutions. Commissioner Kenneth Hayne called for a phased rollout of the regime, with the next step covering superannuation (pension)…

8 February 2019

Regulator WatchRegTech Insight

FlexNOW Migrates to AWS Cloud

FlexTrade Systems has made its FlexNOW execution management system available on Amazon Web Services (AWS) in a move to reduce latency for global clients. The Amazon platform will raise FlexNOW’s status as an innovative trading platform by decreasing onboarding time for clients and brokers while allowing their product teams to easily test new ideas, such…

8 February 2019

Data Delivery, Cloud & Managed ServicesTradingTech Insight

Revolut Agrees Partnership with Clausematch

UK digital bank Revolut has partnered with London-based RegTech firm ClauseMatch to streamline the management of its internal policies, controls and regulatory compliance. The partnership was confirmed after a trial period of several months where ClauseMatch assisted Revolut to map regulations to internal policies and identify potential automation of risk and compliance functions. In 2017…

8 February 2019

Compliance 2.0RegTech Insight

Broadridge Acquires PivotData and Sol Hedge Regulatory Reporting Functions

Global fintech provider Broadridge Financial Solutions has acquired certain private fund regulatory reporting capabilities from New York-based PivotData, a data warehouse and compliance reporting solutions platform for the investment community, and its partner Sol Hedge. Broadridge will leverage their capabilities to help private fund asset managers meet their regulatory reporting requirements. “PivotData and Sol Hedge’s proprietary data transformation,…

8 February 2019

Regulatory ReportingRegTech Insight

Cube Joins MetLife Japan for RegTech Pilot

Global regulatory intelligence provider Cube has been selected by MetLife Insurance to take part in a regulatory intelligence and change management pilot project at its Asia innovation centre LumenLab, as part of its open innovation programme, Collab 4.0. The program invites six finalists (from around 140 applicants across 40 countries) to compete for a JPY10…

8 February 2019

RegTech Innovation (Machine Learning, AI & Blockchain)Regulatory DataRegTech Insight

Wedbush Futures Switches to Trillium Surveyor for Trade Surveillance

Los Angeles-based Wedbush Futures, one of the largest non-bank Futures Commission Merchants (FCM) in the US, is switching from legacy products to Trillium’s Surveyor platform for trade surveillance. The Surveyor software qualifies alerts using full depth-of-book market data. It also offers next-generation detection, visualisation and workflow functionality to keep up with today’s demands for surveillance.

6 February 2019

Trade SurveillanceTradingTech Insight

Broadridge Acquires to Extend Regulatory Reporting Offer

Broadridge Financial Solutions has extended its regulatory reporting offer for asset managers with the acquisition of certain private fund regulatory reporting capabilities from PivotData, a data warehouse and compliance reporting solutions platform for the investment community, and its partner Sol Hedge. PivotData and Sol Hedge’s proprietary data transformation, normalisation and load processes, as well as…

31 January 2019

Regulatory ReportingRegTech Insight

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Latest people

Brian Conroy Appointed Liquidnet President

Liquidnet, a technology-driven, global institutional investment network, has appointed Brian Conroy as president. In this role, Conroy will work alongside Liquidnet CEO and founder, Seth Merrin. Conroy brings over three decades of experience in the financial services industry to Liquidnet, joining the company from Fidelity International in London, where he served as president. He will…

18 February 2019

PeopleTradingTech Insight

Artur Fischer Steps Down from Role of CEO at Equiduct

Artur Fischer, CEO of Börse Berlin and responsible for founding Equiduct, is stepping down from his position as the joint CEO of Equiduct. David Murphy, who has served as chief operating officer and head of operations and business development at Equiduct, is set to succeed Fischer. Equiduct is a pan-European trading venue operated by Börse…

13 February 2019

PeopleTradingTech Insight

Control Risks Makes Strategic Compliance Hire

Specialist risk consulting firm Control Risks has appointed John Lash as Principal in its Compliance, Forensics and Intelligence practice. Lash will be based in Washington DC and is an expert on cross-border M&A. His hire will assist Control Risks to manage global trade compliance capabilities at a time when its clients are facing evolving and…

12 February 2019

PeopleRegTech Insight

BNP Paribas Seeks RegTech Lead

BNP Paribas is advertising for a RegTech consultant, based in Paris, to support its Corporate and Institutional Banking (CIB) division in all projects relating to the digital transformation of their activities, with a focus on the needs of the trading desks. The hire will join the CIB Consulting RegTech Team, which is developing to support…

12 February 2019

PeopleRegTech Insight

NuBox Hires New CTO

Pablo Vittori has joined NuBox, the biggest provider of small business financial software-as-a-service (SaaS) in Latin America. Vittori will spearhead the firm’s next expansion phase, focusing on big data, artificial intelligence and machine learning. Before joining NUBOX, Pablo worked as a CTO On Demand, helping companies around Latin America reshape their digital teams, implement processes…

11 February 2019

PeopleRegTech Insight

BearingPoint Seeks New Consultant

Global management and technology consulting firm BearingPoint, which offers RegTech solutions including SFTR and MiFID II reporting compliance, is looking for a new Junior RegTech Consultant to implement and advise on its financial services solution for supervisory and regulatory reporting solution, ABACUS.

8 February 2019

PeopleRegTech Insight

Refinitiv Names Sherry Madera as Global Head of Industry and Government Affairs

Refinitiv has named Sherry Madera as global head of industry and government affairs with a view to enhancing its engagement across government, policy initiatives, industry trends and regulatory developments. Madera joins Refinitiv from the City of London Corporation and has over 20 years’ experience across both the public and private sectors, including corporate finance, banking,…

22 January 2019

People PeopleData Management Insight RegTech Insight

RegTek.Solutions Hires ex-IHS Markit Exec Chris Cornish to Strengthen SFTR team

RegTek.Solutions has hired Chris Cornish as a consultant business analyst based in London. He joins from IHS Markit where he was a senior business analyst and a Securities Financing Transaction Regulation (SFTR) specialist. He was previously at ICBC Standard Bank, where he worked on SFTR implementation. At RegTek.Solutions, Cornish will focus on Validate.Trade, a product…

21 January 2019

Data Quality People People Regulatory Compliance SFTRData Management Insight RegTech Insight

Horizon Names Philippe Thomas as an Advisory Board Member

Horizon Software has named Philippe Thomas as a member of its advisory board. Thomas has previously held executive positions at Ullink and SunGard, and joins Horizon from his role as a consultant and investor at New World Wind, a provider of sustainable electrical services. The appointment is part of the company’s expansion strategy following an…

21 January 2019

PeopleTradingTech Insight

Accuity Promotes David Wilson to Role of MD and CEO

Accuity has promoted David Wilson to the role of managing director and CEO with responsibility to deliver innovative solutions for payments, risk and compliance, develop strategic partnerships, and deliver high quality client service. He steps up to the role after 18 months as chief operating officer (COO) at the provider of financial crime compliance, payments…

14 January 2019

Financial Crime Other Regulations People People Regulatory ComplianceData Management Insight RegTech Insight

GLEIF Seeks Applicants to Join Board of Directors

The GLEIF is calling for applications from C-suite level executives in the UK, Switzerland, China and India to join its board of directors. New board members will be appointed in June 2019 in line with the mandatary rotation of members of the board and to ensure the right balance of jurisdictional and skill representation. Details…

9 January 2019

People Symbology & IdentifiersData Management Insight

Andreas Shneble Joins IDNow

Andreas Shneble has joined German KYC specialist IDNow as Head of Marketing. Based in Munich, IDNow combines AI, facial recognition and machine learning to deliver instant identity verification through its KYC platform, in compliance with EU-wide regulations. Schneble joins from Rocket Media House, an advisory firm he founded in 2016. He was previously Director of…

18 December 2018

Other Regulations People Regulatory DataRegTech Insight

Alex Pavel Joins IHS Markit

Alex Pavel has joined IHS Markit as Sales Director. Based in London, Pavel has responsibility for growing the company’s risk and regulatory compliance business across Benelux (Belgium, the Netherlands and Luxembourg), the Middle East and Africa. Pavel was formerly with Thomson Reuters in Dubai, where he spent four years in enterprise sales. He holds an…

11 December 2018

Other Regulations People Regulatory Technologies Risk TechnologyRegTech Insight

QuantHouse Appoints CTO and COO to Drive Growth and Innovation

QuantHouse has appointed its co-founder Denery Fenouil as chief technology officer (CTO) and Emmanuel Carjat, co-founder of Atrium Network, as chief operating officer (COO) to facilitate the company’s global growth. Rejoining the firm to oversee software and technology development, Fenouil was previously the architect of QuantHouse’s low latency market data solution. As COO, Carjat will…

29 November 2018

Market Data PeopleTradingTech Insight

Fintech Advisor Amar Rajani Joins VTFinTech Board

VTFinTech, a provider of index management and research evaluation services, has named Amar Rajani as a member of its board with immediate effect. Rajani is the founder and managing director of Argella, an advisory firm specialising in fintech and with specialist knowledge in research, data and analytics. Prior to founding Argella, Rajani spent 17 years…

27 November 2018

PeopleData Management Insight

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Awards

Data Management Insight Awards

Our Data Management Insight Awards applaud those hard-working vendors delivering data management solutions to the financial industry. Find out how to vote, enter or see the past winners.

6 December 2019

Data Management Insight

RegTech Insight Awards

The RegTech Insight Awards recognise the best of the best in the RegTech industry. Find out how to vote, enter or see the past winners.

3 May 2019

RegTech Insight

TradingTech Insight Awards Europe

Celebrating the pioneers and stand out vendors of the Trading Tech world with our TradingTech Insight Awards. Find out how to vote, enter or see the past winners.

27 February 2019

TradingTech Insight

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Latest from the blog

FCA Prepares for No Deal Brexit with UK FIRDS Testing Starting Tomorrow

20 February 2019

Data Management Insight

Asset Control 2019 Roadmap Advances ACX NoSQL Platform, Adds Data Lineage and Managed Services

20 February 2019

Data Management Insight

Latest from the blog

Shield FC Announces Cloud-Enablement of Compliance Platform

20 February 2019

RegTech Insight

KYC Global Launches World’s First Risk-Based Customer Screening Solution

20 February 2019

RegTech Insight

Latest from the blog

The Race Is On – Catch Up with Corvil’s Next-Generation Trade Execution Analytics at TradingTech Summit

20 February 2019

TradingTech Insight

Is Crypto Trading for You? Find Out at Next Week’s TradingTech Summit

20 February 2019

TradingTech Insight

TradingTech Summit London

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27 February 2019
TradingTech Insight
Data Management Summit London

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21 March 2019
Data Management Insight
Breakfast Briefing: Meeting the Data Requirements of FRTB London

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14 May 2019
Data Management Insight RegTech Insight TradingTech Insight
TradingTech Summit New York City

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26 June 2019
TradingTech Insight
Data Management Summit New York City

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19 September 2019
Data Management Insight

Upcoming Webinar: Data lineage to drive compliance and as a business imperative

Read more and see our speakers

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26 March 2019
Data Management Insight
Upcoming Webinar: Leveraging innovation in data management

Read more and see our speakers

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28 March 2019
Data Management Insight
Upcoming Webinar: An update on data standards and global identifiers

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09 April 2019
Data Management Insight
Upcoming Webinar: Buy-side: How to get data management right in investment management, insurance and pension funds

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11 April 2019
Data Management Insight

Suppliers Guides for Data Management Coming Soon

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FRTB Special Report

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Featured

FEATURED WEBINAR

FEATURED EVENT

FEATURED GUIDE

Top Blogs The best content from across our publications

Top White Papers

Top Knowledge Hub picks

Latest briefs

Broadridge Report Reveals Damage of Poor Personalised Communications

Vela Partners Smart Order Router Provider CoinRoutes

IHS Markit Adds ESG Solution for Private Capital Markets

RegTech Could be Worth $7.2bn by 2023

ChartIQ Raises $17.4 Million in Series B Funding

Shield FC Wins Deloitte RegTech Challenge

Theta Lake Raises $5m in Seed Funding

Brussels Issues Draft Guidelines for AI Regulation

Australia Expands Accountability Regime

FlexNOW Migrates to AWS Cloud

Revolut Agrees Partnership with Clausematch

Broadridge Acquires PivotData and Sol Hedge Regulatory Reporting Functions

Cube Joins MetLife Japan for RegTech Pilot

Wedbush Futures Switches to Trillium Surveyor for Trade Surveillance

Broadridge Acquires to Extend Regulatory Reporting Offer

Latest people

Brian Conroy Appointed Liquidnet President

Artur Fischer Steps Down from Role of CEO at Equiduct

Control Risks Makes Strategic Compliance Hire

BNP Paribas Seeks RegTech Lead

NuBox Hires New CTO

BearingPoint Seeks New Consultant

Refinitiv Names Sherry Madera as Global Head of Industry and Government Affairs

RegTek.Solutions Hires ex-IHS Markit Exec Chris Cornish to Strengthen SFTR team

Horizon Names Philippe Thomas as an Advisory Board Member

Accuity Promotes David Wilson to Role of MD and CEO

GLEIF Seeks Applicants to Join Board of Directors

Andreas Shneble Joins IDNow

Alex Pavel Joins IHS Markit

QuantHouse Appoints CTO and COO to Drive Growth and Innovation

Fintech Advisor Amar Rajani Joins VTFinTech Board

Awards

Latest from the blog

Latest from the blog

Latest from the blog

Upcoming events

TradingTech Summit London

Data Management Summit London

Breakfast Briefing: Meeting the Data Requirements of FRTB London

TradingTech Summit New York City

Data Management Summit New York City

Upcoming webinars

Upcoming Webinar: Data lineage to drive compliance and as a business imperative

Upcoming Webinar: Leveraging innovation in data management

Upcoming Webinar: An update on data standards and global identifiers

Upcoming Webinar: Buy-side: How to get data management right in investment management, insurance and pension funds

Guides

Suppliers Guides for Data Management Coming Soon

FRTB Special Report

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